LOUIS MARTIN BAUDENDISTEL is currently employed as a Broker and/or Investment Adviser at AEGIS CAPITAL CORP. located at 1000 SW BROADWAY, SUITE 1220, PORTLAND, OR, 97205.
LOUIS MARTIN BAUDENDISTEL has worked at AEGIS CAPITAL CORP. since July 02, 2015
Disclosure History
LOUIS MARTIN BAUDENDISTEL has 4 Disclosure Event(s).
Date: September 21, 2010 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND EXCESSIVE TRADING. COMPENSATORY DAMAGES ARE NOT SPECIFIED.
Date: June 08, 2006 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE THE REGISTERED REPRESENTATIVE MADE UNSUITABLE INVESTMENTS AND MADE EXCESSIVE TRADES. Damage Amount Requested: $20,386.00 Settlement Amount: $20,000.00 Broker Comment: WE SETTLED THIS MATTER TO AVOID THE EXPENSE AND UNCERTAINTY OF LITIGATION.
Date: July 18, 1994 Category: Customer Dispute Allegations: CUSTOMER ALLEGES EXCESSIVE TRADING INSPECULATIVE AND OTHER UNSUITABLE SECURITIES. ALLEGED DAMAGESUNSPECIFIED. Settlement Amount: $30,000.00 Broker Comment: PAYMENT TO CUSTOMER OF $30,000.00.WE DO NOT BELIEVE THERE WAS ANY TO THEALLEGATIONS. ALTHOUGH THE CUSTOMER REALIZED A PROFIT TO HERACCOUNT, SHE NEVERTHELESS WAS PREPARING TO INSITITUTE ACTIONALLEGING EXCESSIVE AND UNSUITABLE TRANSACTIONS. DUE TO THE FACTHER ACCOUNT AND HER FINANCIAL CONSULTANT ARE LOCATED INPORTLAND, OREGON WHILE SHE RESIDES IN TEXAS, IT WOULD HAVE BEENVERY DISRUPTIVE AND EXPENSIVE TO DEFEND THE MATTER. THUS, WEFELT IT WAS COST EFFECTIVE TO SETTLE THIS MATTER.
Date: August 05, 1988 Category: Customer Dispute Settlement Amount: $10,000.00 Broker Comment: (1) QUESTIONS: 22H1, 22H2 (2) UPDATING: NO (3) INITIATED BY: CUSTOMERS - CUSTOMER AND CUSTOMER (4) TYPE OF EVENT OR PROCEEDING: CIVIL ACTION IN U.S. DISTRICT COURT FOR OREGON (5) DATE INITIATED: AUGUST 5, 1988 (6) DOCKET OR CASE #: CV-88-892 (7) ALLEGATIONS: THE PLAINTIFFS ALLEGED MISREPRESENTATION, BREACH OF FIDUCIARY DUTY AND UNAUTHORIZED USE OF MARGIN. THE CLAIM SOUGHT AN UNSPECIFIED AMOUNT IN DAMAGES IN EXCESS OF $50,000 PLUS ATTORNEY'S FEES. (8) (A) CURRENT STATUS: SETTLED (B) DATE: NOVEMBER 15, 1988 (C) RESULT: MERRILL LYNCH SETTLED THE CLAIM FOR $10,000. MR. BAUDENDISTEL IS PAYING $7,500.00 OF THE $10,000.00 SETTLEMENT. (9) SUMMARY: APPLICANT DENIES ALL CLAIMS MADE BY THE CUSTOMER. THE MATTER WAS SETTLED IN ORDER TO AVOID EXPENSE OF LITIGATION.
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